resettlement framework...rehabilitation and resettlement act, 2013 15. the right to fair...

Resettlement Framework April 2015

IND: Uttar Pradesh District Road Investment Project Prepared by Uttar Pradesh Public Works Department, Government of India, for the Asian Development Bank.

CURRENCY EQUIVALENTS (as of 6 April 2015)

Currency unit – Indian rupees (INR/Rs) INR1.00 = $ 0.01614

$1.00 = INR 61.9673

ABBREVIATIONS ADB – Asian Development Bank AP – affected people BSR – Basic Schedule of Rates EA – executing agency FGDs – focus group discussions GRC – Grievance Redress Committee GRM – Grievance Redress Mechanism MDR – major district roads PIU – Project Implementation Unit PMU – Project Monitoring Unit PPP – Public Private Partnership RF – Resettlement Framework RP – Resettlement Plan (RFCT in

LARR)2013 – Right to Fair Compensation and Transparence in Land

Acquisition, Rehabilitation and Resettlement Act, 2013 (SPS), 2009 – Safeguard Policy Statement, 2009 UPMDRIP – Uttar Pradesh Major District Roads Improvement Project VC – Valuation Committee

This resettlement framework is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the “terms of use” section of this website. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

CONTENTS I. INTRODUCTION 1

A. Overview of the Project 1 B. Methodological Approach 1 C. Magnitude of Resettlement Impact 1 D. Purpose of the Resettlement Framework (RF) 2

II. OBJECTIVES AND SCREENING CRITERIA 2 A. Objectives 2 B. Resettlement Impacts Screening Criteria for Sub-project Roads 2

III. POLICY AND LEGAL FRAMEWORK 3 A. The Right to Fair Compensation and Transparence in Land Acquisition,

Rehabilitation and Resettlement Act, 2013 3 B. Government of Uttar Pradesh (GoUP) Direct Land Purchase Policy 2015 4 C. ADB’s Safeguard Policy Statement (SPS), 2009 4 D. Comparison of National with ADB Policy 4

IV. RESETTLEMENT FRAMEWORK PRINCIPLES AND ENTITLEMENT MATRIX 5 A. Key Resettlement Principles 5 B. Key Working Definitions 5 C. Entitlement Matrix 6

V. COMPENSATION, INCOME RESTORATION AND RELOCATION 11 A. Compensation and Valuation of Lost and Affected Assets 11 B. Income Restoration and Relocation 12 C. Assistance for Temporary Impacts 12

VI. SOCIO-ECONOMIC INFORMATION AND RESETTLEMENT PLAN PREPARATION 13 A. Resettlement Plan Preparation 13 B. Surveys 13 C. Gender Assessment and Development Framework 14

VII. CONSULTATION, PARTICIPATION AND DISCLOSURE 14 A. Consultations 14 B. Information Disclosure and Resettlement Plan Disclosure 14

VIII. GRIEVANCE REDRESS MECHANISM 15 IX. BUDGET AND FINANCING 16 X. INSTITUTIONAL ARRANGEMENT AND IMPLEMENTATION 16

A. Staffing 16 B. Implementation Schedule 19

XI. MONITORING AND REPORTING 20 A. Internal Monitoring 20 B. External Monitoring 20

ANNEXURES Annex 1: List of Project Roads 21 Annex 2: Summary of LARR Act, 2013’ 22 Annex 3: Comparison between the Borrower and ADB’s Safeguard Policy Statement 26 Annex 4: Translated Synopsis of Go UP Policy for Direct Purchase of Land 30 Annex 5: Involuntary Resettlement Impact Categorization Checklist 31 Annex 6: Outline of Resettlement Plan 32 Annex 7: Sample Sub-project Leaflet 36 Annex 8: Resettlement Sample Budget Table 37 Annex 9: Indicative Monitoring Indicators 38 Annex 10: Indicative Terms of Reference (TOR) for NGO/CONSULTANT 40 Annex 11: Indicative TOR for the External Monitor 48

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I. INTRODUCTION A. Overview of the Project 1. Uttar Pradesh is India’s most populous state with population of about 200 million. The state also has the largest rural population in the country, through agriculture being the main activity contributing 46% of state income. While the dependence on agriculture is high, the road network is not very well developed: the state has a road network density of about 72 km per 100 sq. km, as against the national average of 107. Uttar Pradesh Major District Roads Improvement Project proposed for the Asian Development Bank (ADB)’s assistance seeks to upgrade and rehabilitate about ten (10) major district roads (MDR) for a total of 609 km, thereby improving connectivity and fostering inclusive economic growth. The estimated cost of the project is about $428 million, of which $300 million would be financed ADB. The list of project roads has been outlined in Annex 1. The project’s Executing Agency is Uttar Pradesh Public Works Department (UPPWD). 2. This resettlement framework (RF) has been prepared to guide the resettlement rehabilitation and assistance process during the implementation of the project. Specific Resettlement Plans (RPs) will be prepared following the principles outlined in this framework should involuntary resettlement impacts be identified during project preparation. B. Methodological Approach 3. The Resettlement Framework (RF) for UPMRDIP has been prepared based on (i) the findings of the census survey and consultations in 4 out of 10 subproject roads1 carried out by the ADB, DPR Consultant and PPTA Consultant; (ii) the review of UPPWD/World Bank Resettlement Framework, which has been used for former and ongoing World Bank funded project; (iii) the review of secondary documents including the regulatory frameworks of Govt. of India and Govt. of Uttar Pradesh; (iv) the review of ADB Safeguards Policy Statement 2009 as well as the recently disclosed ADB Resettlement Frameworks in India.2 C. Magnitude of Resettlement Impact 4. The upgrading and rehabilitating works will consist of raising the formation level, widening to a full two lanes from the existing single and intermediate lane widths, and/or pavement rehabilitation/strengthening. Road sections with high volumes of non-motorized traffic will be widened to 2-lane black top carriageway of 7.0 m width with 1.5m shoulders on either side covering a total width of 10m. 5. The four subproject roads reviewed confirmed the presence of resettlement impacts. Given that the roads seem to have sufficient Right of Way (RoW) to avoid private land acquisition, resettlement impacts are to a large extent limited to commercial and residential semi-permanent structures and mobile vendors. This will have to be confirmed however during the preparation of each Resettlement Plan (RP) through verification with the Land Revenue Department and consultations with affected persons. 6. Overall, the project is designed to limit civil works in congested areas to pavement improvement and avoid impacting sensitive sites altogether. In some sections, the roads pass

1 Hussainganj to Alipur Marg, Haliyapur to Kurebhar to Belwai, Nanau to Dadon and Bulandshahar to Anoopshahar. 2 Madhya Pradesh District Connectivity Sector Project, July 2014.

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through narrow and congested urban markets,3 where any alignment improvement would have involved significant resettlement impacts on structures and likely entailed private land acquisition. In these cases, the Executing Agency has opted for limiting the works to improvement of pavement and drains on an as-is land width, in order to avoid these impacts. It was also agreed that impact to sensitive religious sites and structures in the corridor of impacts will be limited to a minimum). D. Purpose of the Resettlement Framework (RF) 7. This resettlement framework (RF) guides the screening of resettlement impacts and the preparation of Resettlement Plans (RPs), for each sub-project roads financed under the ADB-financed Uttar Pradesh Major District Roads Improvement Project, if resettlement impacts are identified. 8. Given that private land acquisition is likely to be limited under this project, the Right to Fair Compensation and Transparence in Land Acquisition, Rehabilitation and Resettlement Act 2013 (FCTLARR 2013) may not be triggered. The Resettlement Framework is thus a key tool to ensure that the resettlement impacts of the project are managed in compliance with ADB Safeguard Policy Statement SPS (2009). 9. The RF will be reviewed and updated from time to time to ensure relevance and consistency with applicable country legal frameworks and ADB's Safeguard Policy Statement, 2009 (SPS).

II. OBJECTIVES AND SCREENING CRITERIA A. Objectives 10. The RF outlines (i) The requirements to be followed in relation to subproject roads resettlement impact screening – including the steps to confirm the EA’s ownership of the RoW; (ii) The requirements of the national law and regulations and the ADB Safeguards Policy Statement (SPS) governing the preparation and implementation of Resettlement Plans (RPs) for subproject; (iii) The requirements for meaningful consultation with affected people (APs) and other stakeholders, as well as for information disclosure; (iv) Implementation procedures, including the budget, institutional arrangements, assess the client’s capacity to implement the RPs and suggest capacity development requirements; (v) Monitoring and reporting requirements; (vi) The responsibilities of the client and of ADB in relation to the to the preparation, implementation, and progress review of social safeguard documents of subprojects. 11. The EA is responsible for conducting the social assessment and formulating RPs for subprojects, as per the procedures outlined in this RF. The draft RPs will be disclosed to the displaced persons and submitted to ADB for review and approval prior to commencement of any civil works. Compensation and other assistances will have to be paid to APs prior to any physical or economic displacement of displaced households. B. Resettlement Impacts Screening Criteria for Sub-project Roads

3 Town of Chheolaha on Hussainganj to Alipur road, Simri Bazar and Dostpur on Haliyapur to Kurebhar to Belwai road,

Chharra on Nanau-Dadau road.

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12. The EA is responsible for involuntary resettlement planning. The EA and DPR Consultants will prepare rapid assessment based on a checklist and field survey, which will be validated by the PPTA consultant prior submission to ADB. Prior to submission to ADB, the checklist (see Annex 5) will first be verified by the PPTA Consultant on a sample basis. Should resettlement impacts be identified based on the findings of the checklist, a Resettlement Plan will be prepared. If resettlement impacts are not identified, a due diligence report will be prepared and submitted to the ADB. The due diligence report will describe the impact assessment methodology and in particular the consultations undertaken with communities along the alignment to substantiate this finding. 13. The EA’s ownership of the RoW will be verified by the DPR consultant with the Land Revenue Record at district level. The EA will provide the DPR consultant will all documentation at the Division and headquarter levels substantiating their ownership of the RoW, as well as facilitate access to the Land Revenue Records documents at district level by providing access authorization letters. The PPTA consultant will verify the RoW data details assessed by the DPR consultant during the preparation of each subproject road’s Resettlement Plan or Due Diligence Report (in the case that no resettlement impacts have been identified). Findings from the Land Revenue Record will be confirmed during consultations with affected persons. The RoW verification process for each subproject road will be described in an annex of the Resettlement Plan/Due diligence report with the inclusion of sample land records for each district concerned by the subproject roads.

III. POLICY AND LEGAL FRAMEWORK 14. The policy framework and entitlements for the project are based on the national law The Right to Fair Compensation and Transference in Land Acquisition, Rehabilitation and Resettlement Act, 2013, (LARR 2013) its 2014 Ordinance and ADB SPS, 2009. A. The Right to Fair Compensation and Transparence in Land Acquisition,

Rehabilitation and Resettlement Act, 2013 15. The Right to Fair Compensation and Transparence in Land Acquisition, Rehabilitation and Resettlement Act, 2013 has been effective from January 1, 2014 after receiving the assent of the President of Republic of India. The Act replaced the Land Acquisition Act, 1894. The Act has since late December 2014 been amended to make it more flexible and the description of the amendment is described below. 16. The aims and objectives of the Act include is to ensure, in consultation with institutions of local self-government and Gram Sabhas established under the Constitution of India, a humane, participative, informed and transparent process for land acquisition for industrialization, development of essential infrastructural facilities and urbanization with the least disturbance to the owners of the land and other affected families. It provides for compensation and resettlement assistance to the affected families whose land or other assets are affected by the project. A few of key features that are revised from the old Act include the recognition of non-title holders to compensations if they have lived in the area proposed to be acquired in the past three years as well as compensations for loss of livelihood. 17. Section 26 of the Act defines the method by which market value of the land shall be computed under the proposed law. Schedule I outlines the proposed minimum compensation based on a multiple of market value. Schedule II through VI outline the resettlement and rehabilitation entitlements to land owners and livelihood losers, which shall be in addition to the

http://en.wikipedia.org/wiki/Land_Acquisition_Act%2C_1894

http://en.wikipedia.org/wiki/Constitution_of_India

http://en.wikipedia.org/wiki/Industrialisation

http://en.wikipedia.org/wiki/Urbanisation

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minimum compensation per Schedule I. Additional details regarding the Act can be found in Annex 2. 18. An Amendment Ordinance to the Act was promulgated on December 31, 2014. The Ordinance provides exemptions for five categories of projects from the certain requirements: (i) Defense; (ii) Rural infrastructure; (iii) Affordable housing; (iv) Industrial corridors; (v) Infrastructure projects including Public Private Partnership (PPP) projects where the central government owns the land. These 5 categories of projects are exempted from the requirement of consent of 80% of land owners to be obtained for private projects and that the consent of 70% of land owners be obtained for PPP projects as well as conducting the Social Impact Assessment through a notification. 19. In the context of this project, it is likely to fall within one of the categories exempted from the Social Impact Assessment (category “Infrastructure projects including Public Private Partnership (PPP) projects where the central government owns the land”). An SIA will still be conducted as it is required by the ADB SPS, but without following the LARR guidelines. B. Government of Uttar Pradesh (GoUP) Direct Land Purchase Policy 2015 20. The Government of UP has issued a Government Order no. N0. 2/2015/215EK-13-2015-20(48)/2011, dated March 19, 2015 to allow land purchase directly from the land owners through private negotiation. According to the Government Order, the land rates and the total land cost are determined by a valuation committee composed of representatives from the DM, Stamps and Registration Department and UPPWD. The land rates will be based on the LARR Act 2013, with a multiplying factor of 2 for land purchased in rural areas. The evaluation methodology is laid out in the Government Order No 797/1-13-2014-5Ka(25)/2013 T.C. dated October 22, 2014. A summary of the Government Order translated in English is included in Annex 4. More information about the Government Order(s) in Hindi can be found on the following link: http://shasanadesh.up.nic.in. C. ADB’s Safeguard Policy Statement (SPS), 2009 21. The objectives of ADB's SPS (2009) with regard to involuntary resettlement are: (i) to avoid involuntary resettlement wherever possible; (ii) to minimize involuntary resettlement by exploring project and design alternatives; (iii) to enhance, or at least restore, the livelihoods of all displaced persons in real terms relative to pre-project levels; and (iv) to improve the standards of living of the displaced poor and other vulnerable groups. ADB's SPS (2009) covers physical displacement (relocation, loss of residential land, or loss of shelter) and economic displacement (loss of land, assets, access to assets, income sources, or means of livelihoods). 22. The three important elements of ADB’s SPS (2009) are: (i) compensation at replacement cost for lost assets, livelihood, and income prior to displacement; (ii) assistance for relocation, including provision of relocation sites with appropriate facilities and services; and (iii) assistance for rehabilitation to enhance, or at least restore, the livelihoods of all displaced persons relative to pre-project levels and to improve the standard of living of displaced poor and other vulnerable groups. D. Comparison of National with ADB Policy

http://shasanadesh.up.nic.in/

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23. Overall, the new Act now bridges the gaps between the GoI policy and ADB's SPS, 2009. In particular, the Act require social impact assessments for projects involving land acquisition, although it sets a minimum threshold of people affected for this provision to apply, while this is not required in the SPS. The Act also expands compensation coverage by a solatium of 100 percent of all compensation amounts. Overall, the LARR 2013 brings the value of compensations for land and structures higher than replacement cost, which is the principle on which compensations are calculated under SPS. The Act furthermore is in line with ADB requirement that compensation be paid prior to project taking possession of any land. 24. The outstanding differences between the government and ADB policy is the establishment of a cut-off date for non-titled holders. The RFCT in LARR, 2013 specifies that only non-titleholders residing on any land for the preceding three years or more will be entitled for compensation and assistance as per this Act. A comparison of Government polices (RFCT in LARR, 2013) with ADB’s involuntary resettlement policy is presented in Annex 3. 25. Overall, the GoUP’s Direct Land purchase policy is compliant with ADB’s SPS as long as the titled owners are not forced into selling their land. To ensure due process in these transactions, when these take place for a specific subproject road under this project, an independent third party will be hired to verify the process has been taken place without coercion and following the evaluation methodology stipulated in the Government Order(s) referred to in paragraph 20.

IV.RESETTLEMENT FRAMEWORK PRINCIPLES AND ENTITLEMENT MATRIX 26. Based on the above analysis of government provisions and ADB policy, the following k e y resettlement principles, definitions and Entitlement Matrix have been adopted for the Project. A. Key Resettlement Principles

(i) land acquisition, and other involuntary resettlement impacts will be avoided or minimized exploring all viable alternative sub-project designs;

(ii) where unavoidable, time-bound resettlement plans (RPs) will be prepared and APs will be assisted in improving or at least regaining their pre-program standard of living;

(iii) consultation with APs on compensation, disclosure of resettlement information to APs, and participation of APs in planning and implementing sub-projects will be ensured;

(iv) vulnerable and severely affected households will be provided special assistance; (v) payment of compensation to APs including non-titled persons (e.g., informal

dwellers/squatters, and encroachers) for acquired assets at replacement rates; (vi) payment of compensation and resettlement assistance prior to the contractor

taking physical acquisition of the land and prior to the commencement of any construction activities;

(vii) provision of income restoration and rehabilitation; (viii) establishment of appropriate grievance redress mechanisms.

B. Key Working Definitions 27. Negotiated Settlement: The ADB SPS encourages acquisition of land and other assets through a negotiated settlement wherever possible, based on meaningful consultation with displaced persons, including those without title to assets. A negotiated settlement will offer adequate and fair price at market cost for land and/or other assets. GoUP has recently laid down

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procedure and institutional setup for directly purchasing land form landowners through private negotiation vide G.O. No 2/2015. All negotiated settlement will be validated by an independent external part engaged by the IA to document the negotiation processes. If negotiation fails, the EA will acquire land following the national legislation and ADB SPS. 28. Cut-off dates: For Titled-Holders, the cut-off date will be the date of publication of preliminary notification for acquisition under Section 4(1) of the RFCT in LARR Act, 2013. For non-titleholders such as squatters, the cut-off date will be the start date of the project census survey as per the final detailed design or updated census survey during RP implementation. 29. Vulnerable Affected Households: Vulnerable Households are defined as affected families who are: (i) below the national poverty level; (ii) headed by women and below the average income of affected households; (iii) headed by disabled or elderly and below the average income of affected households; (iv) scheduled tribes and marginalized scheduled castes. 30. Severely Affected Households: Any household, who, as a result of the project loses 10% or more of its productive assets or physically displaced.

C. Entitlement Matrix 31. All persons affected by the project and meeting the cut-off date requirements will be entitled to a combination of compensation packages and resettlement assistance depending on the nature of ownership rights on lost assets and scope of the impacts:

a. Compensation for the loss of land, crops/ trees at their replacement cost; b. Compensation for structures (residential/ commercial) and other immovable

assets at their replacement cost; c. Assistance in lieu of the loss of business/ wage income and income restoration

assistance; d. Assistance for shifting and provision for the relocation site (if required), and e. Rebuilding and/ or restoration of community resources/facilities. f. Additional Support to Vulnerable Families

32. An Entitlement Matrix, delineated in Table-1 has been developed to summarize entitlements.

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Table 1. : Entitlement Matrix 33. All awards below shall be exempt from income tax, stamp duty and fees.

Type of Loss Definition of Entitled Person

Compensation Policy Responsible Agency

Land

1.a Loss of private land - agricultural land,4 - homestead/ commercial land - vacant plot

Legal titleholders/ traditional titleholders5

• Land for land if available.6 LA by private negotiation promulgated by GoUP though G.O. dated March 19th, 2015.7 Compensation at replacement cost or as calculated under section 26 of LARR Act 2013

• If according to the landowner, the residual land is economically unviable, option to be compensated for entire parcel.

• One time 50,000 Resettlement Allowance as per LARR Act 2013 if family needs to physically relocate to different area

• 90 days advance notice to relocate

IA/CSC will ensure sufficient provision of notice NGO/Consultant will validate and verify AP list jointly with IA.

1.b Loss of rented private land and government land

Tenants, leaseholders and Sharecroppers (with lease documents)

• Assistance for rental deposit or unexpired lease deducted from the land owner’s compensation.

• 60 days advance notice to harvest standing seasonal crops prior to damage, if notice cannot be given, compensation for share of crops will be provided (see entitlement No. 3.a).

NGO/Consultant will confirm tenants’ eligibility IA/ CSC will ensure provision of notice.

1.c Loss of Government land

Non-titled holders (i.e. Squatters8, Encroachers9)

• Compensation for assets lost at replacement cost (see EM 2.a).

• 90 days advance notice to shift

• 60 days advance notice to harvest standing seasonal crops prior to damage, if notice cannot given, compensation for share of crops will be provided (see entitlement No. 3.a).

IA/ CSC will ensure provision of notice. NGO/Consultant will confirm affected household’s eligibility

4 The RFCLARRA 2013 outlines that no irrigated multi-cropped land shall be acquired under this Act, expect in exceptional circumstances, as demonstrable last resort. Wherever such

land is acquired, an equivalent area of cultivable land shall be developed for agricultural purposes or an amount equivalent to the value of land acquired shall be deposited with the appropriate Government for investment in agriculture for enhancing food security. Such costs must be reflected in the resettlement budget.

5 Traditional land rights refer to households with customary rights to land, and shall be treated equivalent to titleholders 6 During the preparation of the Resettlement Plan for the subproject road, the availability of land will be assessed and this option will be retained/dropped depending on this assessment 7 An independent third party will be hired to certify process whether process was fair and transparent and land cost reflects evaluation methodology stipulated in the Government Order(s) 8 Squatters are those who have no recognizable legal rights on the land they are occupying 9 Encroachers are those who use land or build structures which are in whole or in part of an adjacent property to which they have no titles.

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1.d Temporary loss of land

Legal titleholders • Rent at market value for the period of occupation.

• Restoration of land to previous or better quality

• Location of construction camps will be fixed by contractors in consultation with Government and local community.

Contractor negotiates amount with landowner –supervised by CSC.

IA/CSC ensures compensation paid prior to take-over.

Contractor responsible for site restoration.

2 Structures

2.a Loss of residential, commercial structures and other assets

Legal titleholders Encroachers and squatters

If partially affected10: Replacement cost of the affected part or assets with right to salvage materials. If remainder of the structure is unviable, the owner has the option to claim compensation for entire structure (see below).

If Residential/Commercial structure fully affected:

• Replacement Cost of the structure

• If relocating outside RoW, Resettlement Allowance of Rs. 50,000 per family as per LARR Act 2013.11

• Monthly Subsistence Allowance of Rs. 3,000 for one year (total Rs. 36,000) for families having to relocate their homesteads as per LARR Act 2013.12

• Shifting allowance of 10% of replacement cost of structure up to a maximum of Rs 50,000, as per the LARR Act 2013

• Right to salvage materials from structure and other assets with no deductions from replacement cost.

• 90 day notice to vacate structure.

NGO/Consultant will confirm titleholder’s eligibility IA/ CSC will ensure provision of notice.

10 External to the living/commercial areas (i.e. verandahs, stairs) 11 Not cumulative if Resettlement Allowance has been given for loss of land (Entitlement 1.a) 12 Households losing commercial structures are not eligible

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2.b Loss of residential/commercial structure and other assets

Tenants (without documentation) and leaseholders

• Replacement cost of part/whole of structure – if latter has been constructed by the tenant/leaseholder with right to salvage material

• Compensation for rental deposit or unexpired lease (only for AP with legitimate lease documentation). This will be deducted from the compensation amount of the structure owner.

• Lump-sum equivalent to two month lease to support search of alternative housing.

NGO/Consultant will confirm tenants’ eligibility IA/ CSC will ensure provision of notice.

2.c Loss and temporary impacts on common property resources

Titled and non-titled owners/communities

• Replacement or restoration of the affected community facilities

• Best efforts need to be made to avoid impacts on sensitive sites (i.e. religious, sacred). If these need to be relocated or rehabilitated additional level of consultation with community is required to ensure proper process

IA/ CSC will assess how to avoid sensitive sites NGO/Consultant will conduct additional consultations

3 Loss of crops and trees

3.a Loss of trees and crops

Legal titleholder/ tenant/lease-holder/share-cropper/non-titled AP

• 60 days advance notice to harvest standing seasonal crops prior to damage, fruits and timber

• Compensation for standing crops (or share of crop for sharecroppers) based on an annual crop cycle at market value.

• Compensation for trees based on timber value at market price, and compensation for perennial crops and fruit trees at annual net product market value multiplied by remaining productive years; to be determined in consultation with the Forest Department for timber trees and the Horticulture Department for other trees/crops.

NGO/Consultant will confirm affected household eligibility IA/ CSC will ensure notice is provided.

4 Loss of livelihood

4.1 Loss of livelihood

income

Legal Titleholder/ tenant/leaseholder/non-titled holder of fully affected commercial structure13

• Loss of business income/wages: One time financial assistance based on three month income14 or Rs. 25,000 as per RFCLARRA 2013, whichever is higher

NGO/Consultant will confirm affected household eligibility

13 When core commercial space is affected – when external sections of the structures such as verandahs, stairs, balcony are affected the owner will not be eligible to this entitlement. 14 Based on income tax return

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Employee of affected commercial structure.

Farmer/ agricultural worker of land acquired.

4.2 Temporary disruption of livelihood

Legal titleholders, non-titled AHs

• 90 days advance notice regarding construction activities, including duration and type of disruption.

• Economic Disruption Grant of Rs. 3,000/week when commercial structure is partially affected and owner loses income to rebuild part of structure or because of construction activities.

• Assistance15 to mobile vendors/hawkers to temporarily shift for continued economic activity during construction activities.

IA/ CSC will ensure notice is provided.

5 Special assistance to Vulnerable Households

5.1 Impacts on Vulnerable Households (VAHs) and Severely Affected Households (SAHs)16

Vulnerable Households Severely Affected Households

• Rs. 50,000 for each physically displaced family17.

• Participation of one member of household in Livelihood Improvement and Skills Development Training

• Priority of employment under the project during construction and implementation for one family member to extent possible.

NGO/Consultant to confirm VAH/SAH list NGO/Consultant to conduct assessment of skills development

6 Other losses

6.1 Any other loss not identified

• Unanticipated involuntary impacts will be documented and mitigated based on ADB’s Safeguard Policy (SPS), 2009.

NGO/Consultant to identify other potential losses

15 Assistance will be provided in accommodating a temporary space for commercial activities during construction, dismantling and reassembling mobile structure and in physically

relocating structure 16 Severely Affected Households (SAHs): defined as losing 10% or more of their total productive assets and/or physical displacement 17 Severely Affected Households (SAHs) and Vulnerable Households (VAHs) losing their homestead and having to physically relocate from affected area

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V.COMPENSATION, INCOME RESTORATION AND RELOCATION A. Compensation and Valuation of Lost and Affected Assets 34. Land surveys for determining the payment of compensation would be conducted on the basis of updated official records and ground facts. All legal titles will be checked including titles of individuals/households and government. Compensation and assistance to APs must be made prior to possession of land/assets and prior to the award of civil works contracts. Land acquisition and resettlement impacts will be compensated in accordance with the entitlement matrix (Table 1). Loss of assets will be at replacement cost.

1. Valuation of Land 35. The land for land option will be assessed during the preparation of the Resettlement Plan and the option retained/dropped depending on the findings of the consultations and availability. The replacement cost of the land and assets will be determined by the Valuation Committee (VC), established by EA as stipulated in Government Order no. N0. 2/2015/215EK-13-2015-20(48)/2011 of the GoUP’s Direct Land Purchase Policy (See Annex 4). Final rates should reflect replace value which includes (i) fair market rate, (ii) transaction costs, (iii) interest accrued, (iv) transitional and reiteration costs, and (v) other payments, if any. As per Section 26 of the LARR 2013, the market value shall be multiplied by a factor of (a) two in rural areas and (b) one in urban areas. In addition, a solatium amount equivalent to 100% of the market value calculated on the basis of above will be provided. Hence, the cost of land will be:

(i) In rural areas: the market value of land times two, plus a 100% solatium. (ii) In urban areas: the market value of land plus a 100% solatium

36. The final rate will be whichever higher between the rate defined as Section 26 of the LARR 2013 and the replacement value. Any difference will be assessed by the INGO/Consultant, and after validation by the EA at the division level, provided in form of financial assistance (“i.e. “top up”) to the affected households. 37. The uneconomic residual land remaining after land acquisition will be acquired as per the provisions of The Right to Fair Compensation and Transparency in Land Acquisition, Rehabilitation and Resettlement Act, 2013.

2. Valuation of Residential and Commercial Structures

38. The replacement value of structures and other immovable properties will be finalized by the VC through verification that the Basic Schedule of Rates (BSR) published for the State is up to date. If the BSR is not up to date, the VC will undertake a market survey to determine replacement cost. To find out whether the BSR amount will enable APs to rebuild or replace their affected structures. This is to be done by consulting land owners on the following:

(i) From where they use to buy materials (ii) Type of shops (private or state-owned) (iii) Distance to be traveled (iv) Sources (local or foreign) and the cost of various materials (v) Who will built the structures (owner or contractor) and whether they will use the

hired labor or their own labor;

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(vi) Obtaining cost estimates by meeting at least three contractors/suppliers in order to identify cost of materials and labor

(vii) Identifying the cost of different types of houses of different categories and compare the same with district level prices.

3. Valuation of Trees and Crops

39. Compensation for trees will also be based on the current market value of timber for timber trees, the annual net product market value multiplied by remaining productive years for perennial crops and fruit trees, and the market value of standing crops. These values will be finalized by the VC in consultation with the Department of Forest, Horticulture, and/or Agriculture.

4. Other Assets. 40. Compensation for assets such as (wells, irrigation units, etc.) will be based on replacement value. The VC will estimate this through detailed market surveys. B. Income Restoration and Relocation 41. The objective of income restoration is to ensure that each AP will have at least the same or improved income after the sub-project. The RP implementing Consultant will identify the number of eligible APs based on the census of APs and will conduct training need assessment in consultations with the APs. Income restoration schemes will be designed in consultation with APs. The strategy for income restoration will be based on the information collected from the census and the socio-economic surveys.

1 . Short-Term Income/Livelihood Restoration 42. The restoration scheme will provide short-term income restoration activities intended to restore AP incomes in the period immediately before and after relocation focusing on relocation, and providing short-term allowances such as:

( a ) transitional allowance (b) shifting assistance (c) Income/wage loss compensation

2. Livelihood Improvement and Skills Development Training

43. Skills development training will be provided to one member of each affected vulnerable households and severely affected household. An assessment of skills training needs will be undertaken after trainees are identified and consulted. The assessment will be based on the assessment of the literacy, educational level, and/or skill sets of one member of the household nominated for skill training. Once the skills training needs are identified, local trainers, resource persons or training institutes will be identified by the RP implementing Consultant. It is expected that the training will take place for a period of 3 months and its cost will be reflected in the RP budget. A Post-training impact assessment will be conducted by the external monitor. If the external monitor finds that in the case of some APs livelihood has not been restored, the RP implementing NGO/Consultant will provide individualized counseling to ensure the concerned APs are liaised with national and state-sponsored jobs and livelihood improvement schemes. C. Assistance for Temporary Impacts

13

44. Temporary loss of land and common resources is expected to be minimal. Should there be temporary losses, APs will be provided with:

(i) Rent for the period of occupation for legal titleholders. (ii) Compensation for assets lost at replacement value/cost, including trees and crop

loss in accordance with the entitlement matrix. (iii) Restoration of land to previous or better quality. (iv) Restoration or replacement of common resources. (v) Assistance to shift to another location for mobile vendors

VI. SOCIO-ECONOMIC INFORMATION AND RESETTLEMENT PLAN PREPARATION

A. Resettlement Plan Preparation 45. When resettlement impacts are confirmed based on the field visit and checklist, a Resettlement Plan will be prepared. The resettlement plan will be based on a social impact assessment and meaningful consultation with the affected persons. The outline of the RP, as per the ADB’s SPS-2009 is included in Annex 5. B. Surveys 46. A social impact assessment (SIA) will be undertaken for each sub-project road that requires the preparation of a resettlement plan. The SIA will determine the magnitude of displacement and prospective losses, identify vulnerable groups, ascertain costs of resettlement, and prepare a resettlement plan for implementation. 47. The SIA will comprise of:

(i) Census Survey and inventory of loss assets. The census will be based on the detailed designs and will cover 100% of displaced persons. The purpose of the census is to: (i) register who the displaced persons are; (ii) assess their income and livelihoods; and (iii) collect inventory of their assets affected due to the project; (iv) identify APs who are vulnerable; and (v) collect gender- disaggregated information pertaining to the economic and socio-cultural conditions of displaced persons.

(ii) Baseline Socio-economic Sample Survey. The purpose of the baseline

socioeconomic sample survey of displaced persons is to establish monitoring and evaluation parameters. It will be used as a benchmark for monitoring the socio-economic status of displaced persons. The survey will cover at least 20% of displaced persons. The suggested baseline data should include but not limited to the following:

• demographic (household composition by age, gender, ethnicity, education)

• Income and assets (individual, collective)

• Occupation (livelihood)

• Access to public service (health, education, water and sanitation, transport)

• Gender roles and gender-disaggregated data

14

• Attitude and preference on resettlement and participation in project employment.

48. The survey will carry out the following: (i) preparation of accurate maps of the subproject area; and (ii) analysis of social structures and income resources of the population. The EA will allocate adequate resources required for each survey, commensurate with road length and level of anticipated impact. Should the RoW not be under the ownership of the EA, the land transfer and legalization process will be a key activity of the RP. C. Gender Assessment and Development Framework 49. The RP design should draw on the gender analysis and consultation with affected women. At a minimum, the RP should include: (i) Disaggregated data by gender, caste, ethnicity, location and age; (ii) An analysis on how women are impacted by the resettlement process.; (iii) Identification of female-headed households who will be affected by the project; (iv) Responses to women’s concerns to the project and resettlement process, that result from one-on-one discussions with affected women, women focus groups, and participation of women in general public hearings; (v) Mitigation measures that ensure women’s concerns are adequately addressed. Female-headed households will be considered as vulnerable group and will benefit from additional assistance as per the entitlement matrix.

VII. CONSULTATION, PARTICIPATION AND DISCLOSURE A. Consultations 50. The EA will ensure that the views of the affected persons, particularly those vulnerable, related to the resettlement process are looked into and addressed through meaningful consultations. They will ensure that groups and individuals consulted are informed about the outcome of the decision-making process, and confirm how their views were incorporated. 51. A range of formal and informal consultative methods will be carried out to inform the design and implementation of the resettlement plans. Consultations methodology will include but will not limited to: focus group discussions (FGDs), public meetings, community discussions, and in-depth and key informant interviews; in addition to the censuses and socio-economic surveys. Particular attention will be paid to the need of the disadvantaged or vulnerable groups, including those below poverty line, the landless, the elderly, female headed households, women and children, Indigenous People/ Scheduled Tribes, and those without legal title to land. B. Information Disclosure and Resettlement Plan Disclosure 52. The RF and the sub-project RPs will be disclosed in ADB’s and the Executing Agency (EA) website. 53. The Entitlement Matrix and sub-project road a summarized version of the RPs will be translated in Hindi and made available in relevant Panchayat, government agencies (including the DC’s office) in each town, near affected area, and PIU and PMU offices. RPs may also be kept in public libraries, accessible to citizens as a means to disclose the document and at the same time create wider public awareness. 54. During RP preparation and once again at the onset of the RP implementation, subproject RP leaflets will be translated into the local language and distributed by implementing

15

NGO/Consultant to the affected communities for their information. Moreover, posters with Grievance Committee contact information will be established in key locations. A sample project leaflet is attached in Annex 6. 55. The project cutoff date will be communicated to APs by the PPTA, DPR consultants during RP preparation and again reiterated by the RP implementing Consultant/ NGO in consultation meetings, local media, as well as stated in the project signboards. The notice and cut-off dates will be published in local newspapers, twice with a one week interval for permanent land acquisition.

VIII. GRIEVANCE REDRESS MECHANISM 56. A project-specific grievance redress mechanism (GRM) will be established to receive, evaluate and facilitate the resolution of displaced people’s concerns, complaints and grievances about the social and environmental performance at the level of the Project. The GRM will aim to provide a time-bound and transparent mechanism to voice and resolve social and environmental concerns linked to the project. The project-specific GRM is not intended to bypass the government’s own redress process, rather it is intended to address displaced people's concerns and complaints promptly, making it readily accessible to all segments of the displaced people and is scaled to the risks and impacts of the project. 57. The GRM will consist of 2 levels a Field-level GRC and State-level GRC. 58. Field level GRC will comprise of the:

(i) Executive Engineer, PIU (ii) Assistant Safeguards Officer (ASO ), PIU (iii) Resettlement Expert from the CSC (iv) A representative from AP community.

59. The State level GRC will comprise of the:

(i) Executive Engineer, UPPWD (ii) Safeguards Project Officer, UPPWD Central (iii) Resettlement Expert, Project Management Support Unit (iv) Resettlement Expert from the CSC

60. Field level GRC: APs will have the flexibility of conveying grievances/suggestions in person to the PIU/PWD’s local office, orally by calling the GRC’s local number of the PIU’s Assistant Safeguards Officer (ASO), which will be posted on signboards at different points of the project site, or in writing by submitting their grievances to the local PIU/PWD’s office and contractor’s site. A complaint register will be maintained by the ASO at the PIU’s office and by the contractor’s environmental officer at the construction sites to record the details related to the date of complaint, type of complaint, date of personal hearing, action taken and date of communication sent to complainant will be recorded. The Assistant Safeguards Officer will consolidate all grievances, categorize and prioritize them and report any serious cases to the State-Level GRC (see below). The ASO will investigate grievances through site visits and consultation with relevant parties like affected persons, contractors etc… with the support of the CSC’s Resettlement Expert. If grievances are not resolved at this stage they will be sent to the State-level GRC. 61. State-Level GRC: Level 2 GRC will meet every month (if grievances are brought to the Committee), determine the merit of each grievance, and resolve grievances within a month of receiving the complaint—failing which the grievance will be referred to appropriate court of Law

16

for redressal. Records will be kept of all grievances received including: contact details of complainant, date the complaint was received, nature of grievance, agreed corrective actions and the date these were effected, and final outcome. The GRCs will continue to function during the life of the Project. The CSC and UPPWD Central Resettlement Expert (i.e. Safeguards Project Officer, see paragraph 66 below) will offer guidance in resolving grievances and report on the efficiency of the GRM in the Semi-Annual Reports. 62. Indicative timeframe for resolution: The GRCs are expected to resolve grievances of the eligible persons within a stipulated time of 3 weeks at the field level and one month at the state level.

63. Costs: All costs involved in resolving the complaints (meetings, consultations, communication and reporting / information dissemination) will be borne by the Project.

64. The subproject specific Resettlement Plans will provide more details on the step-by-step mechanism for grievance redress.

IX. BUDGET AND FINANCING 65. Detailed budget estimates for each RP will be prepared by the EA and PIU with the support of the DPR which will be included in the overall project estimate. The RP budget should include (i) detailed costs of land acquisition, relocation, livelihood and income restoration and improvement, administration and management and a contingency source of funding; and (ii) arrangements for approval, and the flow of funds and contingency arrangements. All land acquisition, compensation, relocation and rehabilitation of income and livelihood, consultations and grievance redress will be considered as an integral component of project costs. Annex 7 includes a budget template. 66. All land acquisition funds will be provided by the government under the project. The disbursement of money to the displaced persons for land acquisition will be carried out by the EA directly in to the accounts of EPs, with the help of the INGOs/Consultant. 67. However, in the case of compensation to Non-Titled Holder , the PIU will directly pay the money or any other assistance as stated in the resettlement plan to displaced persons through check payment into their individual accounts. The PIU Safeguards Officer and RP implementing Consultant/NGO will be involved in facilitating the disbursement process and rehabilitation program and will facilitate opening of bank accounts for the displaced persons, who do not have bank accounts.

X. INSTITUTIONAL ARRANGEMENT AND IMPLEMENTATION 68. The Executing Agency for the project will be GOUP through UPPWD. The institutional framework and the roles and responsibilities of various institutions to be involved in the R&R activities of the project and implementation of RP are described below. A. Staffing

69. Staffing at the EA level: A Chief Engineer (CE) at UPPWD headquarters based in Lucknow has been designated as person in charge for project implementation. The Safeguards Project Officer (SPO), reporting to the CE, will be responsible for ensuring compliance with environmental and social safeguards of project roads. The SPO may be allocated by the EA or

17

by outsourcing a Resettlement Consultant. Each project implementation unit (PIU) will be responsible for RP implementation at the subproject road level. The PIU will be headed by a Divisional Manager (Tech.) and will have one Assistant Safeguards Officer (ASO). During inception mission, the ADB will provide training to the newly appointed staff in the Environment and Social Cell and PIU focal points. The capacity of the EA should be high as it has to successfully implement the multiple donor funded projects. 70. Construction Supervision Consultant (CSC): UPPWD will engage a Resettlement Specialist with Construction Supervision Consultants (CSC) for the specified sub-projects. The Resettlement Specialist will ensure guide and monitor the implementation of the RP and prepare the monitoring reports to submit to UPPWD/ADB. 71. RP Implementing Consultant/NGO: A qualified and experienced firm, RP implementing Consultant/NGO will be recruited by the EA to assist in the implementation of the RPs. If resettlement impacts are minor and very few households are affected, the EA may elect to implement the RPs itself. If a RP implementing unit is engaged, it would play the role of a facilitator and will work as a link between the PIU and the affected community. EA shall ensure that adequate resources are allocated to the RP implementing Consultant and a detailed work plan will need to be submitted by the RP implementing Consultant in the Inception Report. An indicative TOR for the RP implementing Consultant is included as Annex 10. 72. The table below provides details on the key agencies involved and their main responsibilities regarding social safeguard implementation. Further details on agencies responsible for RP activities are in Table 3.

Table 3: Implementation Agencies and Key Responsibilities Key Agency Responsibility

Government of Uttar Pradesh through the UPPWD (EA)/PMU

• Make final decision on roads to be included under the project

• Facilitate access to documentation about RoW

• If required launch process for RoW’s ownership transfer under EA

• Overall responsibility for project design, feasibility, construction and operation and guide PIUs

• Ensure that sufficient funds are available to properly implement all agreed social safeguards measures

• Ensure that all sub-projects comply with the provisions of ADB’s SPS 2009 and GoI’s policies and regulations

• Submit semi-annual safeguards monitoring reports to ADB

Project Implementation Units (PIU)

(a) District Level

• Facilitate access to documentation about RoW

• Disseminate project information to the project affected community with assistance from DPR Consultants

• Disclosure of project information in public spaces and through relevant media.

• Ensure establishment of Grievance Redress Committee at the PIU level for grievance redress with assistance from RP implementing Consultants

• Facilitate the socio-economic survey and census

• Facilitate consultation by the civil works contractor with community throughout implementation

• Oversee land acquisition and coordinate with District Commissioner

• Supervise the mitigation measures during implementation and its

18

Key Agency Responsibility

progress

• Conduct internal monitoring and prepare reports

Detailed Project Report (DPR) Consultants

• Verify RoW ownership documentation

• Undertake consultations involving community and APs

• Conduct baseline socio-economic survey

• Conduct census of APs and prepare inventory of loss assets

• Complete screening checklist

• Prepare due diligence report if no land acquisition

• Prepare Social Impact Assessment Report

• Encourage community/ APs to voluntarily participate during the implementation

Project Preparation Technical Assistance (PPTA) Consultant

• Confirm RoW ownership information

• Verify screening checklist

• Verify accuracy of AP census and inventory of loss assets

• Provide support to DPR consultant in conducting consultations

• Prepare Resettlement Plans/due diligence reports

• Prepare Poverty and Social Analysis

RP Implementing Consultant/NGO

• Implement RP activities. This includes: - Validate the data contained in the RP and make updates if

required. - Coordinate with, and provide support, where needed, to

Revenue officials and other relevant line agencies in expediting the resettlement and rehabilitation process and land acquisition process;

- Verify final AP list and provide ID/entitlement cards - Implement livelihood and income restoration program; - Disseminate project information to APs in an ongoing

manner; - Assist the APs in redressing their grievances (through the

grievance redress committee set up for the project); - Conduct awareness program for HIV/AIDs, health and

hygiene, and human trafficking in affected villages; - Collect data and submit progress reports on a monthly and

quarterly basis for EA to monitor the progress of RP implementation; and

• Collect data and submit progress reports on a monthly and quarterly basis for EA and PIU to monitor the progress of RP implementation

• Support the EA in the legalization process of the RoW if required.

• Assist and provide all information and data to External Monitor

• Assist the PIU with the project’s social responsibilities, in particular the STI-HIV/AIDS and road safety awareness activities with the communities.

Construction Supervision Consultants (CSC)

• Act as External Monitor

• Guide and advise the implementation of the RPs

• Document and advise for addressing complaints and grievances Provide technical advice and on the job training to the contractors as necessary

• Prepare Semi-annual and annual monitoring reports based on the monitoring checklists and submission to UPPWD for further submission to ADB

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Key Agency Responsibility

Contractor • Consult community and PIU regarding location of construction camps

• Sign agreement with titleholder for temporary use and restore land to equal or better condition upon completion

• Commence construction only when alignment is free of encumbrance

• Respond in a timely fashion to recommendations from GRCs

• Implement Social Safeguards measures during project implementation

• Awareness campaign on Road Safety, Gender Issues, HIV/AIDS, Human Trafficking and child labor at camp and identified locations

• Ensure Women’s participation in Construction Activities during implementation of the project

District level officials • Provide any existing socio-economic information, maps and other related information to DPR Consultant prior to the field data/information collection activities.

• Act as the local focal point of information dissemination

• Execute land acquisition process

Community Based Organizations

• Ensure the community participation at various stages of the project

• Coordination with stakeholder organizations

• Assist in Monitoring of the project

• Providing indigenous knowledge as required

Village key persons • Provide correct and accurate data and information from project formulation stage

• Assist the project team to implement the project smoothly

• Arrange proper community participation

ADB • Review RF /RP and endorse or modify the project classification

• Review planning documents and disclose the draft and final reports on the ADB’s website as required

• Monitor implementation through review missions

• Provide assistance to the EA and IA of sub-projects, if required, in carrying out its responsibilities and for building capacity for safeguard compliance

• Monitor overall compliance of the project to ADB SPS

Social Safeguard Specialist, FGD-focus group discussion, PIU- Project Implementation Unit, PMU- Project Management Unit, NGO/CONSULTANT, RP-resettlement plan, VC-Valuation Committee

B. Implementation Schedule 73. The RP implementation schedule will vary from subproject to subproject. In general, the project implementation will consist of the three major phases, namely project preparation, land acquisition and rehabilitation of APs. In line with the principles laid down in this RF, the EA and PIU will ensure that project activities are synchronized between the resettlement plan implementation activities and civil works. The EAs and PIUs will ensure that no physical or economic displacement of displaced households will occur until: (i) compensation at full replacement cost has been paid to each affected person for project components or sections

20

that are ready to be constructed; (ii) other entitlements listed in the resettlement plan are provided to the displaced persons; and (iii) a comprehensive income and livelihood rehabilitation program, supported by adequate budget, is in place to help displaced persons, improve, or at least restore, their incomes and livelihoods. Furthermore, may be updated during the implementation phase and all updated RPs will be approved by government and ADB and disclosed prior to implementation. An indicative implementation schedule with key tasks is provided in Appendix 9.

XI. MONITORING AND REPORTING A. Internal Monitoring 74. Internal monitoring will be the responsibility of the PIUs, which will include:

(i) Administrative monitoring: daily planning, implementation, feedback and

trouble shooting, individual AP database maintenance, and progress reports

(ii) Socio-economic monitoring: case studies, using baseline information for comparing AP socio-economic conditions, evacuation, demolition, salvaging materials, morbidity and mortality, community relationships, dates for consultations, and number of appeals placed; and

(iii) Impact evaluation monitoring: Income standards restored/improved, and socioeconomic conditions of the displaced persons. Monitoring and evaluation reports documenting progress on resettlement implementation and RP completion reports will be provided by the PIUs to EA for review and approval from ADB.

75. The EA, with the support of the RP implementing NGO/Consultant and CSC will be responsible for overall internal monitoring and evaluation of the project progress for resettlement implementation. The internal monitor will monitor and verify RP implementation to determine whether resettlement goals have been achieved, livelihood and living standards have been restored, and provide recommendations for improvement. The internal monitor will prepare biannual monitoring reports during the R&R implementation period. Monitoring will also ensure recording of AP’s views on resettlement issues and grievances. The monitoring reports will be sent to ADB twice a year by EA. A completion report will be sent to ADB at the end of resettlement activities. Suggested monitoring indicators can be found in Annex 9. B. External Monitoring 76. The CSC Resettlement Specialist will act as external monitor for the project. An important function of external monitoring is to advise the EA on safeguard compliance issues. If significant non-compliance issues are identified, the EA is required to prepare a corrective action plan to address such issues. The EA will document monitoring results, identify the necessary corrective actions, and reflect them in a corrective action plan. The EA, in each quarter, will study the compliance with the action plan developed in the previous quarter. Compliance with loan covenants will be screened by the EA. A sample TOR for External Monitor is found in Annex 10.

Annex1 21

Annex 1: List of Project Roads

Sl. No.

Road District Length (Km)

Cost (Rs. Million)

1 Hussainganj- Hathgaon- Auraiya- Alipur Marg (MDR 81C)

Fatehpur 36 1400

2 Nanau- Dadon (82W) Aligarh 30 1400

3 Muzaffarnagar- Baraut (135W) Muzaffarnagar/ Baghpat

59 2150

4 Haliyapur- Kudebhar- Belwai (66E, 69C)

Sultanpur 96 4500

5 Kaptanganj- Hata- Gauri Bazaar- Rudrapur (25E) Kaptanganj- Naurangiya (O31)

Deoria Kushinagar

84 3700

6 Bulandshahr- Anoopshahr- Dibai Chowk (58W)

Bulandshahr 36 1400

7 Mohanlalganj- Morava- Unnao Marg (MDR-52C)

Lucknow/ Unnao 54 2160

8 Saharanpur- Nakud Gango- Thano Bhawan (MDR-147W) Fatehpur- Muzaffarabad- Kalisia Marg (MDR-121W)

Saharanpur 91 4000

9 Aliganj- Sourav Marg (MDR-45W) Etah/Kashiram Nagar 36 1600

10 Etwa- Markundi- Manikpur (ODR-28) Koh- Manikpur Marg (ODR-7) Rajapur- Raipura- Manikpur Marg (ODR-22)

Chitrakoot 87 3400

TOTAL 609 25710 (US$421 million)

22 Annex 2

Annex 2: Summary of ‘The Right to Fair Compensation and Transparency in Land Acquisition, Rehabilitation and Resettlement Act, 2013’

1. The Right to Fair Compensation and Transparence in Land Acquisition, Rehabilitation

and Resettlement Act, 2013 has been effective from January 1, 2014 after receiving the assent of the President of Republic of India. The Act replaced the Land Acquisition Act, 1894.

2. The aims and objectives of the Act include: (i) to ensure, in consultation with institutions of local self-government and Gram Sabhas established under the Constitution of India, a humane, participative, informed and transparent process for land acquisition for industrialization, development of essential infrastructural facilities and urbanization with the least disturbance to the owners of the land and other affected families; (ii) provide just and fair compensation to the affected families whose land has been acquired or proposed to be acquired or are affected by such acquisition; (iii) make adequate provisions for such affected persons for their rehabilitation and resettlement; (iv) ensure that the cumulative outcome of compulsory acquisition should be that affected persons become partners in development leading to an improvement in their post- acquisition social and economic status and for matters connected therewith or incidental thereto.

3. Section 27 of the Act defines the method by which market value of the land shall be computed under the proposed law. Schedule I outlines the proposed minimum compensation based on a multiple of market value. Schedule II through VI outline the resettlement and rehabilitation entitlements to land owners and livelihood losers, which shall be in addition to the minimum compensation per Schedule I.

4. Preparation of Social Impact Assessment Study under section 4 (1): it is obligatory for the appropriate Government intends to acquire land for a public purpose to carry out a Social Impact Assessment study in consultation with concern Panchayat, Municipality or Municipal Corporation, as the case may be, at village level or ward level in the affected area. The Social Impact Assessment study report shall be made available to the public in the manner prescribed under section 6.

5. Notification under Section 11 (1): Whenever, it appears to the appropriate Government that land in any area is required or likely to be required for any public purpose, a notification to that effect along with details of the land to be acquired in rural and urban shall be published in the official Gazette; in two daily newspapers circulating in the locality of such area of which one shall be in the regional language; in the local language in the Panchayat, Municipality or Municipal Corporation, as the case may be and in the officers of the District Collector, The Sub-divisional Magistrate and the Tehsil; uploaded on the website of the appropriate Government; in the affected areas.

6. Hearing of Objection under section 15 (1): any person interested in any land which has been notified under sub-section (1) of section II, as being required or likely to be required for a public purpose, may within sixty days from the date of the publication of the preliminary notification makes his/her objection, if any, to the collector in writing and shall be heard by the collector or by any person authorized by him/her in this behalf or by an Advocate. After hearing all such objections and after making such further inquiry, if any, as he/she thinks necessary, either make a report in respect of the land which has been notified under sub-section (1) of Section II, 0r make different reports in respect of different parcels of such land, to the appropriate Government, containing



http://en.wikipedia.org/wiki/Constitution_of_India

http://en.wikipedia.org/wiki/Industrialisation

http://en.wikipedia.org/wiki/Urbanisation

Annex 2 23

his/her recommendations on the objections, together with the records of the proceedings held by him/her along with a separate report giving therein the approximate cost of land acquisition, particulars as to the number of affected families likely to be resettled, for the decision of that Government.

7. Publication of declaration and summary of Rehabilitation and Resettlement under section 19 (1): when the appropriate Government is satisfied, after considering the report, if any, made under sub-section (2) of section 15, that any particular land is needed for a public purpose, a declaration shall be made to that effect, along with a declaration of an area identified as the “resettlement area” for the purpose of rehabilitation and resettlement of the affected families. It is obligatory for the State to publish declaration in the official Gazette; in two daily newspapers circulating in the locality of such area of which one shall be in the regional language; in the local language in the Panchayat, Municipality or Municipal Corporation, as the case may be and in the officers of the District Collector, The Sub-divisional Magistrate and the Tehsil; uploaded on the website of the appropriate Government; in the affected areas.

8. After declaration the Collector shall take order for acquisition. The Collector then causes the land to be marked out, measured and planned. The Collector then causes public notice to be given at convenient places on or near the land to be taken, stating the intention of the Government to take possession of the land, and that claims to compensation may be made.

9. Enquiry and Land Acquisition award by Collector under section 23: on the day so fixed, or any other day to which the enquiry has been adjourned, the Collectors shall proceed to enquire into the objections (if any) which any person interested has stated pursuant to a notice given under section 21, to the measurements made under section 20, and into the value of the land at the date of the publication of the notification, and into the respective interest of the persons claiming the compensation and rehabilitation and resettlement, shall make an award under his/her hand of:

(i) the true area of the land; (ii) the compensation as determined under section 27 along with Rehabilitation and

Resettlement award as determined under section 31 and which in his/her opinion should be allowed for the land, and;

(iii) the apportionment of the said compensation among all the persons known or believed to be interested in the land, of whom, or of whose claims, he has information, whether or not they have respectively appeared before him.

10. Period within which an Award shall be made: under section 25, it is obligatory for the

Collectors to make an Award within a period of twelve months from the date of publication of the declaration under section 19 and if no Award is made within the period, the entire proceedings for the acquisition of the land shall lapse.

11. Determination of market value of land by Collector under section 26 (1): the Collector shall adopt the following criteria’s in assessing and determining the market value of the land, namely:

(i) the market value, if any, specified in the Indian Stamp Act, 1899 for the

registration of sale deeds or agreements to sell, as the case may be, in the area, where the land is situated; or

24 Annex 2

(ii) the average sale price for similar type of land situated in the nearest village or nearest vicinity area; or

(iii) consented amount of compensation as agreed upon under sub-section (2) of section 2 in case of acquisition of lands for private companies or for public private partnership projects. Wherever is higher.

12. Determination of amount of Compensation under section 26: the Collector having

determined the market value of the land to be acquired shall calculated the total amount of compensation to be paid to the land owner (whose land has been acquired) by including all assets attached to the land.

13. Determination of value of things attached to land or building under section 29 (1): the Collector in determining the market value of the building and other immovable property or assets attached to the land or building which are to be acquired, use the services of a competent engineer or any other specialist in the relevant field, as may be considered necessary by him/her. Under section 29 (2), the Collector for the purpose of determining the value of trees and plants attached to the land acquired, use the services of experienced persons in the field of agriculture. In the same manner, the Collector under section 29 (3), for the purpose of assessing the value of standing crops damaged during the process of land acquisition, may use the services of experience persons in the field of agriculture.

14. Rehabilitation and Resettlement Award for affected families by Collector under

section 31 (1) of section V: the Collector shall pass Rehabilitation and Resettlement Awards for each affected family in terms of the entitlements provided in the second schedule. As per section 31 (1), the Rehabilitation and Resettlement Award shall include all the following, namely;

(i) rehabilitation and resettlement amount payable to the family; (ii) bank account number of the person to which the rehabilitation and

resettlement award amount is to be transferred; (iii) particulars of house site and house to be allotted, in case of displaced families; (iv) particulars of the land allotted to the displaced families; (v) particulars of one time subsistence allowance and transportation allowance

in case of displaced families; (vi) particulars of payment for cattle shades and petty shops; (vii) particulars of one time amount to artisans and small traders; (viii) details of mandatory employment to be provided to the members of the

affected families; (ix) particulars of any fishing rights that may be involved; (x) particulars of annuity and other entitlements to be provided; (xi) particulars of special provisions for the scheduled cast and the scheduled

tribes to be provided. 15. Special powers in case of urgency to acquire land in certain cases under section

40 (1): in case of urgency, whenever the appropriate Government so directs, the Collector, though no such award has been made, may, on the expiration of thirty days from the publication of the notice mentioned in section 21, take possession of any land needed for a public purpose and such land shall thereupon vest absolutely in the Government, free all encumbrances.

Annex 2 25

16. Special Provision for Scheduled Caste and Scheduled Tribes under section 41 (1): as far as possible, no acquisition of land shall be made in the Scheduled Areas. As per section 41 (2), where such acquisition does take place it shall be done only as a demonstrable last resort. As per section 41 (3), in case of land acquisition in Scheduled Area, the prior consent of the concern Gram Sabha or the Panchayats or the autonomous District Councils shall be obtained.

17. In case of a project involving land acquisition on behalf of a Requiring Body which

involves involuntary displacement of the Scheduled Cast or the Scheduled Tribes families, a Development Plan shall be prepared (section 41 [4]). As per section 41 (5), the Development Plan shall also contain a program for development of alternate fuel, fodder and non-timber forest produce resources on non-forest lands within a period of five years.

18. In case of land being acquired from members of Scheduled Cast or the Scheduled

Tribes, at least one-third of the compensation amount due shall be paid to the affected families initially as first installment and the rest shall be paid after taking over of the possession of the land. The affected families of the Scheduled Tribes shall be resettled preferably in the same Scheduled Area in a compact block so that they can retain their ethnic, linguistic and culture identity.

19. Under section 42 (1), all benefits including the reservation benefits available to

Scheduled Cast and the Scheduled Tribes in the affected areas shall continue in the resettlement area.

26 Annex 3

Annex 3: Comparison between the Borrower and ADB’s Safeguard Policy Statement

Aspect ADB Safeguard Requirement

Fair Compensation and Transference in

Land Acquisition, Rehabilitation and Resettlement Act, 2013

Government Order no. N0. 2/2015/215EK-13-2015-20(48)/2011

Measures to Bridge the GAP

1. Screen the project

Screen the project to identify past, present and future involuntary resettlement impacts and risks. Conduct survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement

4 (I) it is obligatory for the appropriate Government intends to acquire land for a public purpose to carry out a Social Impact Assessment study in consultation with concern Panchayat, Municipality or Municipal Corporation, as the case may be, at village level or ward level in the affected area. The Social Impact Assessment study report shall be made available to the public in the manner prescribed under section 6.

Screening of all sub-projects in line with the IR checklist of ADB, towards enabling identification of the potential resettlement impacts and associated risks.

2. Consultation with stake

holders and

establish grievance redress mechanism

Carryout consultations with displaced persons,

host communities and concerned NGOs. Inform all displaced persons of their entitlements and resettlement options

Whenever a Social Impact Assessment is required to be prepared under section 4, the appropriate Government shall ensure that a public hearing is held at the affected area, after giving adequate publicity about the date, time and venue for the public hearing, to ascertain the views of the affected families to be recorded and included in the Social Impact Assessment Report.

The Land Acquisition Rehabilitation and Resettlement Authority shall be established in each State by the concerned State Government to hear disputes arising out of projects where land acquisition has been initiated by the State Government or its agencies.

No gap between SPS and FCTLARR. Given that the Resettlement Impacts are not envisaged to be significant, a project level GRM is included.

3. Improve, or at least restore, the livelihoods

of all displaced, and payment at replacement cost

Improve or restore the livelihoods of all displaced persons through: (i) land-based resettlement strategies; (ii) prompt replacement of assets with access to assets of equal or higher value, (iii) prompt compensation at full replacement cost for assets that cannot be restored, and (iv) additional revenues and services through

The Collector having determined the market value of the land to be acquired shall calculate the total amount of compensation to be paid to the land owner (whose land has been acquired) by including all assets attached to the land.

No gap between SPS and FCTLARR.

Assets to be compensated at replacement cost without depreciation

Annex 3 27






benefit sharing schemes where possible.

4. Assistance for displaced persons

Provide physically and economically displaced persons with needed assistance

Schedule I, provides market value of the land and value of the assets attached to land. Schedule II provides R&R package for land owners and for livelihood losers including landless and special provisions for Scheduled Tribes.

No gap between SPS and FCTLARR.

Entitlement Matrix outlines compensation and assistance for APs.

5. Improve standard of

living of displaced

vulnerable groups

Improve the standards of living of the

displaced poor and other vulnerable

groups, including women, to at least national minimum standards

Special provisions are provided for vulnerable groups.

No gap between SPS and

FCTLARR.

Entitlement Matrix outlines assistance for vulnerable groups.

6. Negotiated Settlement

Develop procedures in a transparent, consistent, and equitable manner if

land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will

maintain the same or better income and livelihood status

Project will apply UP‘s Government Order no. N0. 2/2015/215EK-13-2015-20(48)/2011

To ensure a fair and transparent process, a third party independent monitor will be hired to certify the process

7. Compensation For non-title holders

Ensure that displaced persons without titles to land or any

recognizable legal rights to land are eligible for resettlement assistance and

compensation for loss of non-land assets.

This is included No gap between SPS and FCTLARR.

Entitlement Matrix outlines compensation and assistance for APs.

8. Requirement of RP

Prepare a resettlement plan / indigenous peoples plan elaborating on displaced persons’ entitlements, the

Preparation of Rehabilitation and Resettlement Scheme including time line for implementation.

Section: 16. (1) and (2).

Separate development plans to be


FCTLARR.

RP will be prepared for subprojects with

28 Annex 3






income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule.

Pprepared.

Section 41

impact.

9. Public disclosure

Disclose a draft resettlement plan,

including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to displaced persons and other stakeholders. Disclose the final resettlement plan and its updates to displaced persons and other

stakeholders

Under clause 18, the Commissioner shall cause the approved Rehabilitation and

Resettlement Scheme to be made available in the local language to the Panchayat, Municipality or Municipal Corporation. As the case may be, and the offices of the District Collector, the Sub-Divisional Magistrate and the Tehsil, and shall be published in the affected areas, in such manner as may be prescribed and uploaded on the website of the appropriate Government.

In addition to the publishing of the approved resettlement plan, the RF includes provision for disclosure of the various documents pertaining to RP implementation.

10. Cost of resettlement

Include the full costs of measures proposed in the resettlement plan

and indigenous peoples plan as part of project’s costs and benefits. For a project with significant involuntary resettlement impacts and / or indigenous peoples plan, consider implementing the

involuntary resettlement

component of the project as a stand-alone operation.

16. (I) Upon the publication of the preliminary notification under sub-section (/) of section I I by the Collector, the Administrator for Rehabilitation and Resettlement shall conduct a survey and undertake a census of the affected families, in such manner and within such time as may be Prescribed, which shall include: (a) particulars of lands and immovable properties being acquired of each affected family; (b) livelihoods lost in respect of land losers and landless whose livelihoods are primarily dependent on the lands being acquired; (c) a list of public utilities and Government buildings which are affected or likely to be affected, where resettlement of affected families is involved; (d) details of the amenities and infrastructural facilities which are affected or likely to be affected, where resettlement of affected families is involved; and

No gap between SPS and FCTLARR. Cost of resettlement will be covered by the EA.

Annex 3 29






(e) details of any common property resources being acquired'

11. Taking over possession

before Payment of compensation

Pay compensation and provide other

resettlement entitlements before physical or economic displacement.

Implement the resettlement plan under close supervision

throughout project

implementation.

38 (I) The Collector shall take possession of land after ensuring that full payment of compensation as well as rehabilitation and resettlement entitlements are paid or tendered to the entitled persons within a period of three months for the compensation and a period of six months for the monetary part of rehabilitation and resettlement entitlements listed in the Second Schedule commencing from the date of the award made under section

30.


FCTLARR.

12. Monitoring Monitor and assess resettlement outcomes, their impacts on the

standards of living of displaced persons, and whether the objectives of the resettlement plan

have been achieved by taking into account the baseline conditions and the results of

resettlement monitoring. Disclose monitoring reports.

48 (I)The Central Government may, whenever necessary for national or inter-State projects, constitute a National Monitoring Committee for reviewing and monitoring the implementation of rehabilitation and resettlement schemes or plans under this Act.

For project, monitoring mechanism and

frequency will follow ADB SPS based on categorization.

30 Annex 4

Annex 4: Translated Synopsis of Go UP Policy for Direct Purchase of Land

1. Government of UP has issued Government order no. N0. 2/2015/215EK-13-2015-20(48)/2011 Dated 19th March, 2015(attached in Hindi) vide which a procedure has been finalized for purchasing the land directly from the land owners through private negotiation. The GO has been published in Hindi. Its translation in English is not yet available.18 However, synopsis of the same is given below for understanding the content: A. For small projects

2. The projects, wherein total cost of land to be directly purchased from the land owner is less than Rs. 10 Crores, will be called small projects. Following committee will finalize the land rates and the total land cost:

1 Additional District Magistrate (Finance/Revenue) Chairman

2 Concerned Additional District Magistrate (Land Acquisition)/ Special Land Acquisition Officer/Deputy Land Acquisition Officer

Member

3 Concern Sub-divisional District Magistrate Member

4 Concerned Sub-registrar/Deputy Inspector General Stamps and Registration/Assistant Inspector General Stamps and Registration

Member

5 Authorized Officer of Purchasing body/Department Member-Secretary

3. The committee will finalize the rates of land and total land cost within one month and it will be referred to the DM for approval. The DM will give approval within 15 days. If he fails to give approval within 15 days the matter will be referred to the Commissioner.

B. Medium and Large Projects

4. The projects, wherein total cost of land to be directly purchased from the land owner is more than Rs. 10 Crores, will be called medium and large projects. Following committee will finalize the land rates and the total land cost:

1 District Magistrate Chairman

2 Additional District Magistrate (Finance/Revenue) Member

3 Concern Additional District Magistrate (Land Acquisition)/ Special Land Acquisition Officer/Deputy Land Acquisition Officer

Member

4 Concern Sub-divisional District Magistrate Member

5 Concerned Sub-registrar/Deputy Inspector General Stamps and Registration/Assistant Inspector General Stamps and Registration

Member

18 For accessing the document in Hindi, please consult http://shasanadesh.up.nic.i

Annex 5 31

Annex 5: Involuntary Resettlement Impact Categorization Checklist

A. Introduction 1. Each subsection/section needs to be screened for any involuntary resettlement impacts which will occur or have already occurred. This screening determines the necessary action to be taken by the project team. B. Information on subsection/section:

a. District/administrative name:_ b. Location (km):_ c. Civil work dates (proposed): d. Technical description:

C. Screening Questions for Involuntary Resettlement Impact 2. Below is the initial screening for involuntary resettlement impacts and due diligence exercise. Both permanent and temporary impacts must be considered and reported in the screening process.

Probable Involuntary Resettlement Effects Yes No Not Known

Remarks

Involuntary Acquisition of Land

Will there be land acquisition?

Is the site for land acquisition known? Is the ownership status and current usage of land to be acquired known?

Will easement be utilized within an existing Right of Way (ROW)?

Will there be loss of shelter and residential land due to land acquisition?

Will there be loss of agricultural and other productive assets due to land acquisition?

Will there be losses of crops, trees, and fixed assets due to land acquisition?

Will there be loss of businesses or enterprises due to land acquisition?

Will there be loss of income sources and means of livelihoods due to land acquisition?

Involuntary restrictions on land use or on access to legally designated parks and protected areas

Will people lose access to natural resources, communal facilities and services?

If land use is changed, will it have an adverse impact on social and economic activities?

Will access to land and resources owned communally or by the state be restricted?

Information on Displaced Persons:

Any estimate of the likely number of persons that will be displaced by the Project? [ ] No [ ] Yes

If yes, approximately how many?

Are any of them poor, female-heads of households, or vulnerable to poverty risks? [ ] No [ ] Yes

Are any displaced persons from indigenous or ethnic minority groups? [ ] No [ ] Yes

Note: The project team may attach additional information on the project, as necessary.

32 Annex 6

Annex 6: Outline of Resettlement Plan 1. This outline is part of the ADB SPS Safeguard Requirements 2. A resettlement plan is required for all projects with involuntary resettlement impacts. Its level of detail and comprehensiveness is commensurate with the significance of potential involuntary resettlement impacts and risks. The substantive aspects of the outline will guide the preparation of the resettlement plans, although not necessarily in the order shown. The following outline of RP is suggested for the present project. A. Executive Summary 2. This section provides a concise statement of project scope, key survey findings, entitlements and recommended actions. B. Project Description 3. This section provides a general description of the project, discusses project

components that result in land acquisition, involuntary resettlement, or both and identify the project area. It also describes the alternatives considered to avoid or minimize resettlement. Include a table with quantified data and provide a rationale for the final decision.

C. Scope of Land Acquisition and Resettlement 4. This section:

(i) discusses the project’s potential impacts, and includes maps of the areas or zone of impact of project components or activities;

(ii) describes the scope of land acquisition (provide maps) and explains why it is necessary for the main investment project;

(iii) summarizes the key effects in terms of assets acquired and displaced persons; and

(iv) provides details of any common property resources that will be acquired. D. Methodology for Impact Assessment 5. This section outlines the methodology and tools adopted for:

(i) resettlement screening (ii) land acquisition planning (iii) socioeconomic survey (iv) census survey or inventory of assets and livelihood loss (v) consultation with stakeholders

E. Socio-economic Information and Profile 6. This section outlines the results of the social impact assessment, the census survey, and other studies, with information and/or data disaggregated by gender, vulnerability, and other social groupings, including:

(i) define, identify, and enumerate the people and communities to be affected; (ii) describe the likely impacts of land and asset acquisition on the people and

communities affected taking social, cultural, and economic parameters into

Annex 6 33

account; (iii) discuss the project’s impacts on the poor, indigenous and/or ethnic minorities, and

other vulnerable groups; and (iv) identify gender and resettlement impacts, and the socioeconomic situation,

impacts, needs, and priorities of women. F. Stakeholders Consultation and Participation 7. This section:

(i) identifies project stakeholders, especially primary stakeholders; (ii) describes the consultation and participation mechanisms to be used during the

different stages of the project cycle; (iii) summarizes the results of consultations with affected persons (including host

communities), and discusses how concerns raised and recommendations made were addressed in the resettlement plan; and

(iv) describes the process for consultation with affected persons during project implementation.

G. Gender Analysis 8. This Section:

(i) Designs the project to gender responsive based on the gender analysis, (ii) Identify Core Requirement for Mainstreaming Gender and collect data

disaggregated by gender, caste, ethnicity, location and age (iii) Highlights the Issues of division of labour, access to resources and decision

making power (who is doing what, who has access to what, who makes the ultimate decision) have to be assessed for their gender differential impact on women and men of different social identity group.

(iv) formulates measures to ensure that socio-economic conditions, needs and priorities of women are identified and the process of land acquisition and resettlement does not disadvantage women

(v) Make provision of compensation and assistance to women, priority determination to female-headed households. Make provision of Joint ownership in the name of husband and wife in cases of non-female-headed households.

(vi) Outlines the assessment of policies, programs, institutional arrangements, human resources issues and M&E system has to be done from a gender perspective of project, project authorities and community groups.

H. Legal and Entitlement Framework 9. This section:

(i) describes national and local laws and regulations that apply to the project and identify gaps between local laws and ADB's policy requirements; and discuss how any gaps will be addressed.

(ii) describes the legal and policy commitments from the executing agency for all types of displaced persons;

(iii) outlines the principles and methodologies used for determining valuations and compensation rates at replacement cost for assets, incomes, and livelihoods; and set out the compensation and assistance eligibility criteria and how and when compensation and assistance will be provided.

(iv) describes the land acquisition process and prepare a schedule for meeting key

34 Annex 6

procedural requirements. (v) defines displaced persons’ entitlements and eligibility, and describes all

resettlement assistance measures (includes an entitlement matrix); (vi) specifies all assistance to vulnerable groups, including women, and other special

groups; and. (vii) Outlines opportunities for affected persons to derive appropriate development

benefits from the project. I. Relocation of Housing and Settlements 10. This section:

(i) describes options for relocating housing and other structures, including replacement housing, replacement cash compensation, and/or self-selection (ensure that gender concerns and support to vulnerable groups are identified);

(ii) describes alternative relocation sites considered; community consultations conducted; and justification for selected sites, including details about location, environmental assessment of sites, and development needs;

(iii) provides timetables for site preparation and transfer; (iv) describes the legal arrangements to regularize tenure and transfer titles to

resettled persons; (v) outlines measures to assist displaced persons with their transfer and

establishment at new sites; (vi) describes plans to provide civic infrastructure; and (vii) explains how integration with host populations will be carried out.

J. Income Restoration and Rehabilitation 11. This section:

(i) Identifies livelihood risks and prepare disaggregated table based on demographic data and livelihood sources;

(ii) describes income restoration programs, including multiple options for restoring all types of livelihoods (examples include project benefit sharing, revenue sharing arrangements, joint stock for equity contributions such as land, discuss sustainability and safety nets);

(iii) outlines measures to provide social safety net through social insurance and/or project special funds;

(iv) describes special measures to support vulnerable groups; (v) explains gender considerations; and (vi) describes training programs.

K. Resettlement Budget and Financing Plan 12. This section:

(i) provides an itemized budget for all resettlement activities, including for the resettlement unit, staff training, monitoring and evaluation, and preparation of resettlement plans during loan implementation.

(ii) describes the flow of funds (the annual resettlement budget should show the budget-scheduled expenditure for key items).

(iii) includes a justification for all assumptions made in calculating compensation rates and other cost estimates (taking into account both physical and cost contingencies), plus replacement costs.

Annex 6 35

(iv) includes information about the source of funding for the resettlement plan budget. L. Information Disclosure 13. This section:

(i) describes the activities undertaken to disseminate project and resettlement information during project design and preparation for engaging stakeholders;

(ii) confirms disclosure of the draft resettlement plan to affected persons and includes arrangements to disclose any subsequent plans; and

(iii) describes the planned information disclosure measures (including the type of information to be disseminated and the method of dissemination) during project implementation.

M. Grievance Redress Mechanisms 14. This section describes mechanisms to receive and facilitate the resolution of affected persons’ concerns and grievances. It explains how the procedures are accessible to affected persons and gender sensitive. N. Institutional Arrangements 15. This section:

(i) describes institutional arrangement responsibilities and mechanisms for carrying out the measures of the resettlement plan;

(ii) includes institutional capacity building program, including technical assistance, if required;

(iii) describes role or RP implementation NGO/consultants, if involved, and organizations of affected persons in resettlement planning and management; and;

(iv) describes how women’s groups will be involved in resettlement planning and management,

O. Implementation Schedule 16. This section includes a detailed, time bound, implementation schedule for all key resettlement and rehabilitation activities. The implementation schedule should cover all aspects of resettlement activities synchronized with the project schedule of civil works construction, and provide land acquisition process and timeline. P. Monitoring and Reporting

17. This section describes the mechanisms and benchmarks appropriate to the project for monitoring and evaluating the implementation of the resettlement plan. It specifies arrangements for participation of affected persons in the monitoring process. This section will also describe reporting procedures.

36 Annex 7

Annex 7: Sample Sub-project Leaflet Up to 1-2 pages maximum.

Sub-project Information Description

Name of the subproject, EA/IA and town

Proposed sub-project technical details and project benefits

Summary of subproject impacts

Entitlement matrix

Resettlement Plan (RP) budget

RP implementation schedule

Consultation and disclosure requirements

Implementation structure and GRM information

Contact numbers of CAPP/implementing NGO/CONSULTANT, PIU, PMU

Annex 8 37

Annex 8: Resettlement Sample Budget Table

Ref. No Component Unit Unit Rate (in lakhs)

Quantity Amount

Rs in Lakhs

1 Land & Building 1.1 Private Land Sq.m 1.2 Temporary Structures Sq.m 1.3 Semi-permanent Structures Sq.m 1.4 Permanent Structures Sq.m 1.5 Private well Unit 1.6 Compound wall (Stone masonry) Runnin

g Meter

2 R&R Assistance 2.1 Building restoration grant for partially

affected structures

Sq.m

2.2 Ex-gratia amount for not giving land-for-land One Time 2.3 Subsistence allowance for residential owners One Time 2.4 Subsistence allowance for commercial owners One Time 2.5 Subsistence allowance for residence

cum commercial owners

One Time

2.6 Subsistence allowance for commercial squatters

One Time

2.7 Rental allowance One Time 2.8 Shifting allowance One time 2.9 Subsistence allowance for employees One time 2.1 Assistance for vulnerable households One Time 3 Community Assets

3.1 Well Unit 3.2 Bus shelter Unit 3.3 Hand pump Unit 3.4 Water tap Unit 3.5 Part of School building Unit 3.6 Places of Worship Unit 3.7 Compound wall of community structures Unit 3.8 Water tank Unit 3.9 Public toilet Unit 3.10 Other government buildings Unit

4 Implementation and other 4.1 Livelihood training for Vulnerable and

Severely affected HH LS

4.2 Training for staff LS 4.3 RP implementation NGO/Consultant

Recruitment LS

4.4 Monitoring and Evaluation consultants LS 4.5 Administrative expenses LS 4.6 Dissemination of Entitlement matrix, RP, etc. LS

Sub Total Contingency @ 10% Total Rounded off

to

38 Annex 9

Annex 9: Indicative Monitoring Indicators

Delivery of Entitlements

• Entitlements disbursed, compared with number and category of losses set out in the entitlement matrix.

• Disbursements against timelines.

• Identification of the displaced persons losing land temporarily, e.g. through soil disposal, borrow pits, contractors’ camps, been included.

• Timely disbursements of the agreed transport costs, relocation costs, income substitution support, and any resettlement allowances, according to schedule.

• Provision of replacement land plots.

• Quality of new plots and issue of land titles.

• Restoration of social infrastructure and services.

• Progress on income and livelihood restoration activities being implemented as set out in the income restoration plan, for example, utilizing replacement land, commencement of production, the number of the displaced persons trained in employment with jobs, microcredit disbursed, number of income-generating activities assisted.

• Affected businesses receiving entitlements, including transfer and payments for net losses resulting from lost business.

Consultation and Grievances

• Consultations organized as scheduled including meetings, groups, and community activities.

• Knowledge of entitlements by the displaced persons.

• Use of the grievance redress mechanism by the displaced persons.

• Information on the resolution of the grievances.

• Information on the implementation of the social preparation phase.

• Implementation of special measures for Indigenous Peoples.

Communications and Participation

• Number of general meetings (for both men and women).

• Percentage of women out of total participants.

• Number of meetings exclusively with women.

• Number of meetings exclusively with vulnerable groups.

• Number of meetings at new sites.

• Number of meetings between hosts and the displaced persons.

• Level of participation in meetings (of women, men, and vulnerable groups).

• Level of information communicated—adequate or inadequate.

• Information disclosure.

• Translation of information disclosure in the local languages.

Budget and Time Frame

• Land acquisition and resettlement staff appointed and mobilized on

Annex 9 39

schedule for the field and office work.

• Capacity building and training activities completed on schedule.

• Achieving resettlement implementation activities against the agreed implementation plan.

• Funds allocation for resettlement to resettlement agencies on time.

• Receipt of scheduled funds by resettlement offices.

• Funds disbursement according to the resettlement plan.

• Social preparation phase as per schedule.

• Land acquisition and occupation in time for implementation.

Livelihood and Income Restoration

• Number of displaced persons under the rehabilitation programs (women, men, and vulnerable groups).

• Number of displaced persons who received vocational training (women, men, and vulnerable groups).

• Types of training and number of participants in each.

• Number and percentage of displaced persons covered under livelihood programs (women, men, and vulnerable groups).

• Number of displaced persons who have restored their income and livelihood patterns (women, men, and vulnerable groups).

• Number of new employment activities.

• Extent of participation in rehabilitation programs.

• Extent of participation in vocational training programs.

• Degree of satisfaction with support received for livelihood programs.

• Percentage of successful enterprises breaking even (women, men, and vulnerable groups).

• Percentage of displaced persons who improved their income (women, men, and vulnerable groups)

• Percentage of displaced persons who improved their standard of living (women, men, and vulnerable groups)

• Number of displaced persons with replacement agriculture land (women, men, and vulnerable groups)

• Quantity of land owned/contracted by displaced persons (women, men and vulnerable groups)

• Number. of households with agricultural equipment

• Number of households with livestock Benefit Monitoring

• Noticeable changes in patterns of occupation, production, and resource use compared to the pre-project situation.

• Noticeable changes in income and expenditure patterns compared to the pre-project situation.

• Changes in cost of living compared to the pre-project situation.

• Changes in key social and cultural parameters relating to living standards.

• Changes occurred for vulnerable groups.

• Benefiting from the project by the displaced persons.

40 Annex 10

Annex 10: Indicative Terms of Reference (TOR) for NGO/CONSULTANT/ to assist in Resettlement Plan implementation

A. Project Background

1. Uttar Pradesh Major District Roads Improvement Project proposed for ADB’s assistance seeks to upgrade and rehabilitate about ten (10) major district roads (MDR) for a total of 609 km, thereby improving connectivity and fostering inclusive economic growth. The estimated cost of the project is about $428 million, of which $300 million would be financed by the Asian Development Bank (ADB). The project’s Executing Agency is Uttar Pradesh Public Works Department (UPPWD). 2. The project construction will entail damage of assets, impact on livelihoods, community property resources and potentially private land acquisition. 3. The overall implementation period for this assignment is XXX months from the commencement of contract.

Table 1: Summary of Likely Impact

Permanent Land Acquisition (ha) XX

No. of Affected Private Structures XX

No. of Affected Community Property Resources (CPRs) XX

Total No. of Affected Households (HHs) XX

No. Titled Households XX

No. of Non-Titled Households XX

No. Households losing homestead (physically displaced) XX

No. of Severely Affected Households XX

No. of Vulnerable Households XX

No. Households losing income (whose commercial structure affected

XX

B. Objectives of the Assignment

4. The NGO/CONSULTANT shall be responsible for assisting UPPWD in facilitating land acquisition and Resettlement Plan (RP) implementation in an efficient and transparent manner for the project road. The implementation shall follow The Right to Fair Compensation and Transparency in Land Acquisition, Rehabilitation and Resettlement Act, 2013 and the ADB's Safeguard Policy Statement 2009. 5. The overall tasks of the NGO/CONSULTANT are to:

(i) Coordinate the entire process from start to finish for disseminating assistance to relevant Affected Persons (APs);

(ii) Coordinate with, and provide support, where needed, to Revenue officials and other relevant line agencies in expediting the land acquisition and resettlement process;

(iii) Implement livelihood and income restoration program; (iv) Disseminate project information to APs in an NGO/Consultanting manner;

Annex 10 41

(v) Assist the APs in redressing their grievances (through the grievance redress committee set up for the project);

(vi) Conduct awareness program for HIV/AIDs, health and hygiene, and human trafficking in affected villages;

(vii) Collect data and submit progress reports on a monthly and quarterly basis for UPPWD to monitor the progress of RP implementation; and

(viii) Any other tasks as assigned by UPPWD. C. Scope of Work 6. The principal responsibilities of the NGO/CONSULTANT will include, but not limited to the following:

1. Administrative Responsibilities of the NGO/CONSULTANT 7. The NGO/CONSULTANT will work under the direction of the Member (Administration), or any person authorized by the Member (Administration). NGO/CONSULTANT shall assist UPPWD in carrying out the implementation of the RP for the project road.

8. The NGO/CONSULTANT shall assist UPPWD in conducting all public meetings, information campaigns at the commencement of the project and give full information to the affected villages. This includes translating the summarized RP into local language in a form of a Project Information Brochure for disclosure and dissemination to APs.

9. The NGO/CONSULTANT shall submit monthly and quarterly progress report to UPPWD. The report should cover implementation issues, grievances and summary of consultations 10. The NGO/CONSULTANT shall assist UPPWD in convening the GRC and keep the records of GRC at PIU and State level.

11. Assist UPPWD in the management of the database of the APs, and at the end of the assignment, ensure proper handover of all data and information to UPPWD.

2. Responsibilities for Implementation of the RP 12. The NGO/CONSULTANT shall verify the information already contained in the RP and the individual losses of the relevant APs. They should validate the data provided in the RP and make suitable changes if required and wherever changes are made it should be supported by documentary evidence. The NGO/CONSULTANT shall establish rapport with all APs, consult and provide information to them about the respective entitlements as proposed under the RP, and distribute entitlement cum Identity Cards to the eligible APs. The identity card should include a photograph of the DP, the extent of loss suffered due to the project, and the choice of the DP with regard to the mode of compensation and assistance. 13. The NGO/CONSULTANT shall develop rapport between the APs and the Project Authority. This will be achieved through regular meetings with both the PIU and the APs. Meetings with the PIU will be held at least fortnightly, and meetings with the APs will be held monthly, during

42 Annex 10

the entire duration of the assignment. All meetings and decisions taken shall be documented by the NGO/CONSULTANT. 14. The NGO/CONSULTANT shall display the list of eligible APs in prominent public places like villages, Panchayat Offices, Block/Tehsil headquarters, and the District Headquarters. 15. During the verification of the eligible APs, the NGO/CONSULTANT shall ensure that each of the APs are contacted and consulted either in groups or individually. The NGO/CONSULTANT shall specially ensure consultation with women from the DP families especially women headed households. 16. Participatory methods should be adopted in assessing the needs of the APs, especially with regard to the vulnerable groups of APs. The methods of contact may include village level meetings, gender participation through group’s interactions, and Individual meetings and interactions. 17. The NGO/CONSULTANT shall explain to the APs the provisions of the policy and the entitlements under the RP. This shall include communication to the roadside squatters and encroachers about the need for their eviction, the timeframe for their removal and their entitlements. 18. The NGO/CONSULTANT shall disseminate information to the APs on the possible consequences of the project on the communities' livelihood systems and the options available, so that they do not remain ignorant. 19. In all of these, the NGO/CONSULTANT shall consider women as a special focus group, and deal with them with care and sympathy. 20. The NGO/CONSULTANT shall assist the project authorities in ensuring a smooth transition (during the part or full relocation of the APs), helping the APs to take salvaged materials and shift. In close consultation with the APs, the NGO/CONSULTANT shall inform PIU about the shifting dates agreed with the APs in writing and the arrangements desired by the APs with respect to their entitlements. 21. The NGO/CONSULTANT shall assist the APs in opening bank accounts explaining the implications, the rules and the obligations of a bank account and how s/he can access the resources s/he is entitled to. The NGO/CONSULTANT shall recommend methods of disbursement for assistance to UPPWD for approval. The disbursement method should be transparent, efficient and meets government audit requirements. 22. The NGO/CONSULTANT shall implement the livelihood restoration program for those APs who qualify. The program should be based on a skill needs assessment of the eligible APs and trainings should be of duration of no less than 3 months. The NGO/CONSULTANT shall coordinate with relevant organization or mobilize its own short-term experts in carrying out the training activities. An evaluation of the program should be conducted 3 months after its completion. APs whose livelihood has not been restored to pre-project level should be provided with individualized counseling and linked to national and state-sponsored employment development and livelihood enhancement schemes.

Annex 10 43

23. The NGO/CONSULTANT shall ensure proper utilization of the R&R budget available for the subproject. The NGO/CONSULTANT shall counsel the APs in finding suitable economic investment options and help them in regaining the losses of land and other productive assets.

3. Accompanying and Representing the APs at the Grievance Committee Meetings

24. The NGO/CONSULTANT shall make the APs aware of the existence of grievance redressal committees (GRCs). 25. The NGO/CONSULTANT shall help the APs in submitting their grievances and also in clearing their doubts about the procedure as well as the context of the GRC award. 26. The NGO/CONSULTANT shall record the grievance and bring it to the notice of the GRCs within seven days of receipt of the grievance from the APs. 27. To accompany the APs to the GRC meeting on the decided date, help the DP to express his/her grievance in a formal manner if requested by the GRC and again inform the APs of the decisions taken by the GRC within 3 days of receiving a decision from the GRC.

4. Carry out Public Consultation 28. In addition to counseling and providing information to APs, the NGO/CONSULTANT will carry out periodic and consultation with APs and other stakeholders.

5. Assisting the PIU with the Project’s Social Responsibilities 29. The NGO/CONSULTANT shall assist the UPPWD to implement STI & HIV/AIDS, road safety and human-trafficking awareness measures. The NGO/CONSULTANT shall coordinate with relevant organization or mobilize its own short-term experts in carrying out the activities.

6. Monitoring and Reporting 30. The NGO/CONSULTANT involved in the implementation of the RP will be required to supply all information, documents to the external monitor. D. Documentation and Reporting by NGO/CONSULTANT 31. The NGO/CONSULTANT shall submit all of the following reports, brochures and outputs in a format approved by UPPWD.

(i) Inception Report. To be submitted within two weeks of mobilization which includes work plan for the whole contract period, staffing and personnel deployment plan, and a withdrawal plan at the end of the period of contract.

(ii) Project Information Brochure. Summarize the RP, translate summary and produce Project Information Brochure in local language within 1 month of mobilization. For distribution to all affected households.

(iii) Microplans for relevant Non-titleholders. Includes issuance of ID cards and other documents. To be completed at an agreed time with UPPWD.

44 Annex 10

(iv) Monthly Progress Reports. To be submitted to UPPWD at the end of each month. Shall include weekly progress and work charts as against the scheduled timeframe of RP implementation.

(v) Quarterly Progress Reports. To be submitted to UPPWD at the end of each quarter. Shall include progress on implementation, livelihood restoration program, GRC, STI & HIV/AIDS awareness program, issues and challenges, and etc.

(vi) Completion Report at the end of the contract period summarizing the actions taken during the project, the methods and personnel used to carry out the assignment, and a summary of support/assistance given to the APs.

(vii) All other reports/documentation as described in these terms of reference. (viii) Record minutes of all meetings.

E. Staffing Schedule 32. The table below details the required staffing structure for the assignment. Key personnel will be evaluated during the proposal evaluation stage. The NGO/CONSULTANT is required to submit CVs for the key personnel positions. Non-key personnel will not be evaluated during proposal stage. At least one woman should be included as Field Support Staff.

1. Indicative Required Experts

No. Particulars No. Positions Estimated Person-months

Key Personnel

1 Team Leader

2 Field Coordinator 1

3 Field Coordinator 2

Non-key Personnel

4 Field Support Staff

5 MIS Officer

Total

33. All staff should be mobilized within XXX days of actual commencement.

2. Key Indicative Tasks per Position 34. The position-based tasks specified for each of the positions is mentioned below. The tasks are indicative and the NGO/CONSULTANT needs to propose its own working arrangement as a team based on the overall requirements in the TOR.

No. Particulars

1 Team Leader

• Provide overall technical and operational management of NGO/CONSULTANT team.

• Act as main counterpart when communicating with UPPWD and relevant government agencies.

• Draft work plan and ensure work plan is followed.

• Ensure deliverables and activities are completed in a timely and transparent fashion.

• Review documentation and reports to verify accuracy.

2 Field Coordinator • Responsible for assigned section of alignment

Annex 10 45

No. Particulars

• Provide guidance to Field Staff and verify information collected.

• Ensure deliverables and activities are completed in a timely and transparent fashion.

• Provide support to Grievance Redressal Mechanism

4 Field Support Staff • Responsible for assigned section of alignment.

• Establish rapport with relevant APs.

• Responsible collecting field level information.

• Undertake continued information disclosure and consultation.

5 MIS Officer • Perform all computer/database related needs for the assignment.

3. Qualification

35. Qualification and experience requirements for experts are listed below.

No. Particulars

1 Team Leader

Minimum: Post graduate degree in social science is Sociology, Economics, Master in Social Work, Masters in Rural Development, Bachelors of law shall be added qualification 10 years of minimum professional experience 5 years of minimum relevant experience in implementing land acquisition and resettlement and rehabilitation activities. Previous experience in project funded by external donors. Good understanding of land acquisition process and The Right to Fair Compensation and Transparency in Land Acquisition, Rehabilitation and Resettlement Act, 2013

2 Field Coordinator Minimum: Bachelor’s degree in any discipline Post graduate degree in social science is preferred 10 years of minimum professional experience 5 years of minimum relevant experience in implementing land acquisition and resettlement and rehabilitation activities. Previous experience in project funded by external donors strongly preferred. Good understanding of land acquisition process and The Right to Fair Compensation and Transparency in Land Acquisition, Rehabilitation and Resettlement Act, 2013. Proficient in local language preferred.

4 Field Support Staff Minimum: Bachelor’s degree in any discipline civil Post graduate degree in social science is added qualification 3 years of minimum professional experience

46 Annex 10

No. Particulars

Previous experience in working rural communities required. Proficiency in local language is required. Previous experience in land acquisition activities is strongly preferred.

5 MIS Officer Minimum: Bachelor’s degree in computer application or related fields. 3 years of minimum professional experience Proficient in operating computer and Microsoft Word, and Excel. Ability to design and manage database. Proficient in English and local language.

4. Condition of Services

36. The NGO/CONSULTANT shall ensure that the RP is implemented in an effective and proper manner. The prime responsibility of the NGO/CONSULTANT shall be to ensure that each and every eligible AP receives appropriate and due entitlement (within the Entitlement Framework) and that, at the end of the project R&R services, the eligible APs have improved (or at least restored) their previous standard of living. Additionally the NGO/CONSULTANT shall help the UPPWD in all other matters deemed to be required to implement the RP in its spirit and entirely including activities involving some financial implications. 37. All documents created, generated or collected during the period of contract, in carrying out the services under this assignment will be the property of the UPPWD. No information gathered or generated during and in carrying out this assignment shall be disclosed by the NGO/CONSULTANT without explicit permission of the UPPWD.

5. Data, Services and Facilities to be provided by UPPWD 38. The UPPWD will provide to the NGO/CONSULTANT the copies of all relevant documents required for the NGO/CONSULTANT to undertake its work. Documents will include the APs' Census, the RP, and technical drawings. The UPPWD will assist the NGO/CONSULTANT in collaborating with the Supervision Consultants. All facilities required in the performance of the assignment, including office space, office stationery, transportation and accommodation for staff of the NGO/CONSULTANT, etc., shall be arranged by the NGO/CONSULTANT.

6. Payment Schedule: 39. The following payment milestone is proposed for making the payment to the NGO/CONSULTANT. The payment will be made subject to the submission of a certificate from the UPPWD that the targets have been achieved in a satisfactory manner.

Sl. No.

Indicative Payment Milestone Indicative Payment (% of contract Value)

1 On submission of the inception Report complete in all respects

10%

2 On completion of the identification, verification of APs and initial consultation sessions, and submission of updated data

20%

Annex 10 47

Sl. No.

Indicative Payment Milestone Indicative Payment (% of contract Value)

on APs (Identification and Verification report) and review of the same by the UPPWD.

3 On submission and approval of first 30% of the Micro Plans of APs

6%

4 On submission and approval of second 30% of the Micro Plans of APs

7%

5 On submission and approval of final 40% of the Micro Plans of APs

7%

6 On completion of the rehabilitation process and implementation of Livelihood and Income Restoration Program and STI & HIV/AIDs, human trafficking in affected villages.

20%

7 On submission of the Final Completion Report 10%

8 On approval of the Final Completion Report 20%

Total 100%

48 Annex 11

Annex 4: Indicative TOR for the External Monitor

A. Introduction

1. The Construction Supervision Consultant (CSC) Safeguard Specialist will act as External Monitor (EM or “Monitor”) to ensure quality operations and effective implementation of the Resettlement Plan (RP).

B. Objectives and Requirements of Monitoring and Evaluation

2. The objectives of monitoring and evaluation are to assess whether the Resettlement Plans (RPs) are implemented on schedule and within budget and whether the goals and principles of the RPs are achieved. Specifically, monitoring and evaluation will focus on the following aspects of the Affected Persons’ (APs) situation and the resettlement process.

• Social and economic situation prior to and after the project;

• Timely disbursement of funds;

• Functioning of the grievance redress mechanism;

• Rehabilitation of vulnerable and severely affected households;

• Assessment of the Livelihood Restoration Program;

• Effectiveness of Measures taken to restore affected livelihoods;

• Assessment of the consultation mechanism during RP implementation

• Living conditions and economic status of Affected Persons (APs) following resettlement in comparison to the “without project” scenario.

3. Monitoring and evaluation will include (i) the verification or establishment of a socio-economic baseline of the APs prior to resettlement activities; (ii) verification of internal monitoring data and reports; (iii) the regular monitoring of the resettlement and rehabilitation process and its compliance with the Entitlement Matrix; (iv) the evaluation of the AP’s situation post resettlement. In addition, qualitative and quantitative evaluation will be made on the sustainability of living conditions of APs. Investigation will include consultations and observations with APs, the executing agency and project implementation unit, local officials, village leaders, as well as a quantitative sample survey of at least 20% of displaced households. Focus group discussion will be conducted with male and female APs, and vulnerable and severely affected households. 4. If the findings of the External Monitor indicate non-compliance with the RP or impacts not considered during RP design, the EM will work with the Executing Agency (EA) and Project Implementation Unit (PIU) to prepare a separate corrective action plan (CAP) in cooperation with the relevant stakeholders, to address pending or new resettlement impacts. The EM will monitor and report on the implementation of the CAP.

C. Monitoring Indicators

5. Monitoring will include process, output and outcome indicators. The monitoring framework and formats stipulated in the RPs will be adopted. The following general indicators will be covered.

• Disbursement of entitlements to APs as specified in the Entitlement Matrix of the RP.

• Provision of relocation assistance and notice as stipulated in the Entitlement Matrix.

• Disruption and Development of economic productivity: provision of assistance for temporary or long-term disruption of economic activities, numbers of APs employed in construction activities.

Annex 11 49

• Standard of living: Throughout the implementation process, the trends in standards of living will be observed and the potential problems in the way of restoration of standards of living will be identified and reported. The Monitor will carry out a comprehensive socio-economic survey after the completion of resettlement implementation to document the standards of living and the conditions of the APs after resettlement. The survey will be updated annually.

• Restoration/relocation of civic infrastructure and sensitive structures (i.e. graveyards, sacred and religious structures): all necessary infrastructures should be restored/relocated to a standard equal to pre-project level. Impact on sensitive structures should be avoided and if unavoidable, additional consultations need to take place to relocate/restore structure in a consensual manner.

• Effectiveness of resettlement planning. Adequacy of assets measurement, entitlements, sufficiency of budget, and timeliness of mitigation measures.

• Level of satisfaction of APs: level of satisfaction of APs with various aspects of the resettlement program; the operation of the mechanisms for grievance redress will be reviewed and the speed and results of grievance redress measures will be monitored.

• Social adaptability and cohesion: impacts on children, indigenous peoples/ethnic minorities and other vulnerable groups, public participation, APs’ attitudes and reaction to post resettlement situation, number of complaints and appeal procedures, implementation of preferential policies, income restoration measures, and improvements in women’s status in villages.

• Other Impacts. The monitor will verify if there are unintended environmental impacts and impacts on employment and incomes.

D. Special Considerations

6. Special attention will be paid to women, indigenous peoples/ethnic minorities/groups, as well as the poor and vulnerable groups during monitoring; these include:

• The status and roles of women: Closely monitor any change in women’s status, function and situations. At least 40% of APs surveyed will be women.

• Differential impacts on indigenous peoples/ethnic minority groups. Closely monitor the socioeconomic status of indigenous peoples to ensure that they have not been further marginalized. Monitoring indicators should to the extent possible be disaggregated by gender and ethnicity.

• Care and attention to vulnerable groups: Closely monitor living conditions of the poor, the elderly, the handicapped, female headed households and other vulnerable groups after resettlement, to ensure that their livelihood is improved.

• Monitoring and evaluation will provide information on the utilization and adequacy of resettlement funds.